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RS

Robert B. Spertell

BOUSTEAD SECURITIES
Irvine, CA 92618
Some features on this profile are disabled
CRD#: 6415100
RS

Professional summary

Robert Bruce Spertell is a registered financial professional currently at BOUSTEAD SECURITIES, LLC located in Irvine, California.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2015. Robert has worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 62 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Bruce Spertell's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 2, 2017 - Present

BOUSTEAD SECURITIES, LLC

Office #1: 6 Venture Suite 395, Irvine, CA 92618
BD
CRD#: 141391
Irvine, CA
Past

May 2, 2017 - May 16, 2017

BOUSTEAD SECURITIES, LLC

BD
CRD#: 141391
IRVINE, CA
Past

July 6, 2015 - May 11, 2016

EQUINOX SECURITIES, INC.

BD
CRD#: 145790
REDLANDS, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(1/23/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 1/15/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 5/20/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 62
Date: 5/20/2015
Corporate Securities Limited Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BOUSTEAD SECURITIES, LLC
BOUSTEAD SECURITIES, LLC | MONARCH BAY SECURITIES, LLC | MONARCH BAY ASSOCIATES, LLC

CRD#: 141391 / SEC#: , 8-67384

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
6 Venture Suite 395, Irvine, CA 92618
Mailing Address
6 Venture Suite 395, Irvine, CA 92618
Phone number
(949) 295-1580
Established
California since 04/19/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (47 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BOUSTEAD & COMPANY LIMITEDMEMBER
BULL, ROBERT LEE IVFINOP & PRINCIPAL1521134
MCCLORY, DANIEL JOSEPHMEMBER1390780
SMITH, LINCOLN JOSEPH JRPRESIDENT/ CEO / CCO2501422

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

BOUSTEAD SECURITIES, LLC

CRD#: 141391Irvine, CA 92618

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